Ex-broker is sentenced to 210 months in prison for his role in running a nationwide Ponzi scheme that scammed at least 1,000 investors out of over $100 million: thinkadvisor.com/2022/01/14/ex-…

Ex-New York Life broker is sentenced to 11 years in prison for stealing $1.3 million from a 72-year-old client: thinkadvisor.com/2022/02/04/ex-…

Ex-Cambridge Investment Research broker is sentenced to three years in prison for stealing $472K from investors: thinkadvisor.com/2022/02/07/ex-…

Recruiters Jon Henschen, Louis Diamond and Tasnady & Associates give their takes on Commonwealth's shift to basing advisor transition money on asset levels instead of a percentage of GDC: thinkadvisor.com/2022/02/09/why…

Actor Zach Avery is sentenced to 20 years in federal prison and ordered to pay $230.4 million in restitution to victims of his Ponzi scheme: thinkadvisor.com/2022/02/15/act…

Former Wells Fargo broker winds up on the losing end of a New Jersey Superior Court judge's decision to award $909,000 to an eye doctor bilked by the ex-rep: thinkadvisor.com/2022/02/15/jud…

Florida judge sentences former broker to seven years in prison over a $2.4 million scam that targeted retirees: thinkadvisor.com/2022/02/16/ex-…

My condolences to the family of Edward “Ned” Johnson III and the entire Fidelity Investments family.... thinkadvisor.com/2022/03/24/fid…

Oops! Wells Fargo accidentally sends out a letter telling some of the clients of an ex-advisor at the firm that he had died, when he merely left to join Kestra Financial-affiliated oXYGen Financial: thinkadvisor.com/2022/04/29/wel…

Professor Jeremy Siegel of The Wharton School and @WisdomTreeETFs looks into his crystal ball and makes predictions for the rest of 2022, including there won't be a recession:

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By the end of 2023, all Edward Jones advisors will have the option to share a branch office with another advisor: thinkadvisor.com/2022/06/13/edw…

A new court date was scheduled for the LPL Financial network firm employee charged with killing his co-worker and the co-worker's roommate: thinkadvisor.com/2022/07/25/sep…

Ex-Morgan Stanley pleads guilty to $7.2 million Ponzi scheme in which he defrauded several of his clients while with the wirehouse: thinkadvisor.com/2022/09/19/ex-…

Ex-broker for @AdvisorGroupBDs's Securities America is fined and suspended by FINRA for impersonating dead relative who was a client of the firm: thinkadvisor.com/2022/12/30/fin…

United Advisor Group Launches as RIA Aggregator ift.tt/knrsyEc

Ex-Wells Fargo advisor sues the firm, 4 male co-workers, alleging she was raped by one of the defendants and firm retaliated after she reported it: thinkadvisor.com/2023/02/06/ex-…

With only 1 month to go before the transition of @TDAmeritrade accounts to Charles Schwab Corp, experts weigh in on what TD advisors should do now before the conversion over Labor Day weekend: thinkadvisor.com/2023/08/03/4-t…

Ex-NFL guard turned Morgan Stanley rep William Donovan Ard was fined $15K by FINRA and suspended 4 months for multiple violations: thinkadvisor.com/2023/09/26/for…

Financial services consultants Louis Diamond, Mark Elzweig and Tasnady & Associates weigh in on the 2024 advisor/broker compensation plans of wirehouses Merrill Lynch, Morgan Stanley and UBS: thinkadvisor.com/2023/11/09/wha…